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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Employee DBS Reporting Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} only recruits, employs, engages or allows to work in the service persons who are fit to do so, in accordance with the Regulation and Inspection of Social Care (Wales) Act 2016, The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended, statutory guidance issued by Welsh Ministers, CIW expectations, the Safeguarding Vulnerable Groups Act 2006, DBS requirements and relevant Social Care Wales requirements.

This policy sets out how we manage DBS checks efficiently, ensuring that all employees are suitable to work in a domiciliary care setting and that any changes in their criminal records or circumstances are promptly reported and addressed.

DBS checks are critical for protecting service users, staff, and the integrity of our organisation, ensuring that no employee poses a risk to vulnerable individuals. This policy also aligns with Safeguarding Adults from Abuse and Improper Treatment Policy (DCW13) and the Fit and Proper Persons: Employed Staff Policy (DCW02) to maintain the highest standards of safety, ethics, and legal compliance.

This policy must be read as part of the organisation’s wider safe recruitment, safeguarding, staff conduct, disciplinary, whistleblowing, data protection and Social Care Wales registration arrangements. A satisfactory DBS outcome does not, on its own, confirm that a person is fit to work. The organisation will consider all available recruitment, conduct, safeguarding, health, competence, qualification, registration and disclosure information before deciding whether a person is suitable to work in the service.

2. Scope

This policy applies to:

• all employees and workers, including care workers, managers, coordinators, supervisors, administrative staff and office staff;
• applicants for employment or engagement;
• agency workers, bank workers, temporary workers, volunteers, students, contractors and any other persons who may have direct or indirect contact with individuals or access to confidential information;
• persons engaged under a contract for services;
• existing staff who require ongoing DBS Update Service status checks or DBS renewal;
• staff who are required to register with Social Care Wales or another professional regulator.

It covers:

• The process for obtaining and renewing DBS checks.
• Employee responsibilities for reporting DBS changes.
• Management of DBS disclosures, including risk assessments and escalation procedures.
• CIW reporting obligations.

This policy ensures that criminal convictions, cautions, relevant police information, barring information, safeguarding concerns, professional registration concerns and other suitability information that may affect a person’s role are identified, assessed, recorded and managed in order to protect individuals receiving care and support.

3. Legal and Regulatory Framework

{{org_field_name}} will comply with all legal and regulatory requirements relevant to DBS checks, safe recruitment and staff fitness in domiciliary support services in Wales. This includes:

• the Regulation and Inspection of Social Care (Wales) Act 2016;
• The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended;
• Welsh Government statutory guidance for service providers and responsible individuals;
• Regulation 35, Fitness of Staff;
• Schedule 1 of the Regulations, which sets out information and documentation required in respect of persons working in regulated services;
• the Safeguarding Vulnerable Groups Act 2006;
• DBS eligibility, Update Service, barring and referral guidance;
• CIW notification requirements;
• Social Care Wales registration, code of professional practice and employer requirements;
• the UK GDPR, Data Protection Act 2018 and DBS Code of Practice requirements for handling disclosure information.

The Registered Manager is responsible for ensuring that this policy is implemented in day-to-day practice. The Responsible Individual has oversight of the service’s governance, compliance and quality assurance arrangements.

4. DBS Check Requirements

All persons who are employed, engaged or permitted to work in a role that involves regulated activity with adults, or regular contact with individuals receiving care and support, must have the appropriate level of DBS check before they start work. For care workers and staff who provide personal care, direct care, direct supervision or regular day-to-day management of such workers, this will normally be an Enhanced DBS check for the Adult Workforce with an Adults’ Barred List check.

DBS requirements are as follows:

New Employees

• Must provide a DBS certificate at the correct level for the role, or must be subscribed to the DBS Update Service with an original DBS certificate that is for the same workforce, same level of check and, where required, includes the appropriate barred list check. Where an applicant presents an existing DBS certificate, the Registered Manager or authorised person must see the original certificate, verify identity, check that the certificate is suitable for the role, obtain the applicant’s consent to an Update Service status check where applicable, and record the decision.
• Cannot commence work until a satisfactory DBS check has been received and verified.
• A person must not start work in the service, including shadowing in a way that gives access to individuals or confidential information, until all required pre-employment checks have been completed, reviewed and recorded, unless the Registered Manager has completed and authorised a written risk assessment confirming that the person will not be carrying out regulated activity, will not have unsupervised access to individuals, and will not have access to confidential personal information. This exception must not be used for care workers providing personal care or other regulated activity.

Existing Employees and Workers

• Staff subscribed to the DBS Update Service will have their DBS certificate status checked at least annually, and more frequently where there is a safeguarding concern, disciplinary concern, change of role, change of workforce, change in regulated activity, or other suitability concern.
• Staff who are not subscribed to the DBS Update Service must have a new DBS certificate applied for within three years of the issue date of their previous DBS certificate, and at least every three years thereafter.
• Staff must immediately inform their line manager, the Registered Manager or HR of any matter that may affect their suitability to work, including convictions, cautions, conditional cautions, police investigations, pending charges, safeguarding allegations, professional registration concerns, restrictions on practice, or barring information.
• The organisation will reassess the person’s fitness to work whenever new information is received.

Agency, Bank, Temporary and Contracted Workers

Before any agency, bank, temporary or contracted worker starts work, {{org_field_name}} must receive written confirmation that the person has been subject to the same level of checks required for directly employed staff. This must include confirmation of:

• identity verification;
• right to work;
• employment history and explanation of gaps;
• references;
• qualifications and training relevant to the role;
• Social Care Wales or professional registration, where required;
• the level and workforce of the DBS certificate;
• whether the Adults’ Barred List check was included, where required;
• the DBS certificate issue date or DBS Update Service status check date;
• whether the agency has seen the original DBS certificate;
• any information disclosed and whether a risk assessment has been completed.

The Registered Manager or authorised person must review and record this confirmation before the worker is allocated to provide care and support. The organisation must have a process to assure itself that any agency used has robust and reliable recruitment and vetting arrangements.

5. Fitness to Work

{{org_field_name}} will not employ, engage or allow a person to work in the service unless the organisation is satisfied that the person is fit to do so.

A person will only be considered fit to work where the organisation is satisfied that:

• the person is of suitable integrity and good character;
• the person has the qualifications, skills, competence and experience necessary for the role;
• the person is able, after any reasonable adjustments, to perform the tasks that are intrinsic to the role;
• all required recruitment and vetting information has been obtained, checked and recorded;
• the person is registered with Social Care Wales or another professional regulator where this is required for the role;
• there is no barring, safeguarding, conduct, health, competence or registration concern that makes the person unsuitable to work with individuals receiving care and support.

Where information is incomplete, unclear, inconsistent or concerning, the person must not start work until the Registered Manager has reviewed the information and made a recorded decision. Where necessary, advice will be sought from HR, the Responsible Individual, the local authority safeguarding team, CIW, DBS, Social Care Wales or the relevant professional regulator.

6. Staff Responsibilities for Reporting Changes in Suitability

All staff, workers, volunteers, agency workers and contractors have a contractual, professional and safeguarding responsibility to report immediately any change in circumstances that may affect their suitability to work with individuals receiving care and support.

Reportable matters include:

• any conviction, caution, conditional caution, reprimand, warning or bind-over;
• any arrest, police investigation, pending charge or court appearance;
• any allegation of abuse, neglect, improper treatment, exploitation or misconduct;
• any safeguarding referral or involvement in a safeguarding process;
• any concern arising outside work that may affect suitability to work in care;
• any change to DBS Update Service status;
• being barred, being considered for barring, or being notified of possible barring by DBS;
• any restriction, suspension, condition, investigation or removal by Social Care Wales or another professional regulator;
• any health, conduct, competence or capability matter that may affect safe practice;
• any failure to maintain registration with Social Care Wales or another required professional regulator.

Staff must report any of the above immediately, and no later than the same working day, to their line manager, the Registered Manager or HR. Where the matter presents an immediate risk to an individual, staff must take immediate action to protect the individual and follow the safeguarding policy and Wales Safeguarding Procedures. Failure to disclose this information may result in disciplinary action, suspension, or dismissal.

If an employee is unsure whether a change in their circumstances needs to be reported, they should seek advice from the Registered Manager or HR.

7. Managing DBS Checks, Disclosures and Suitability Information

To ensure compliance with CIW regulations, {{org_field_name}} follows a structured and efficient approach in managing DBS disclosures.

DBS Update Service: Staff are encouraged to subscribe to the DBS Update Service where this is appropriate for their role. The Update Service does not remove the organisation’s responsibility to check suitability. The organisation must obtain consent, view the original DBS certificate, confirm that the certificate is for the correct workforce and level of check, and complete a recorded status check.

DBS Update Service Status Checks: For staff subscribed to the DBS Update Service, a status check will be completed at least annually. A further status check may be completed where there is a change of role, safeguarding concern, disciplinary concern, change in regulated activity, change in workforce, or any other information that may affect suitability.

HR DBS Tracking System: HR maintains a secure and up-to-date database of all DBS renewal dates, flagged three months before expiration to ensure timely renewal.

Fitness and Recruitment Record: The organisation will maintain a confidential record showing that all required recruitment, DBS, barred list, right to work, reference, qualification, health, Social Care Wales registration and professional registration checks have been completed. Records must be available for inspection by CIW where required.

Confidential Handling, Storage, Retention and Disposal: DBS certificates and disclosure information will be handled securely, confidentially and only by authorised persons who need the information for recruitment, safeguarding, suitability or regulatory purposes. DBS information will be processed in line with the UK GDPR, Data Protection Act 2018, DBS Code of Practice and DBS guidance on secure storage, handling, use, retention and disposal of certificate information. DBS certificate information will not be retained for longer than necessary. Where information is retained to support a recruitment, safeguarding or suitability decision, the reason for retention, retention period and access arrangements will be recorded.

Disclosure and Suitability Risk Assessment: Where a DBS certificate, Update Service check, self-disclosure, reference, safeguarding information, police information, professional registration information or other suitability information raises a concern, the Registered Manager will complete a written suitability risk assessment before any decision is made. The assessment will consider:

• the nature, seriousness and relevance of the information;
• whether the matter relates to abuse, neglect, improper treatment, dishonesty, violence, exploitation, drugs, sexual offences, safeguarding, financial abuse or breach of trust;
• when the matter occurred and whether there is evidence of repeated behaviour;
• the person’s explanation and evidence of insight, rehabilitation or changed circumstances;
• the role applied for or held, including access to individuals, medicines, money, property, records and lone working;
• whether the person is barred from regulated activity;
• whether the person is registered with Social Care Wales or another professional regulator and whether a referral is required;
• whether reasonable adjustments, restrictions, supervision or redeployment could reduce risk;
• whether employment, engagement or continued work would place individuals at risk or undermine confidence in the service.

The outcome must be recorded as one of the following:

• suitable to start or continue in role;
• suitable subject to controls, supervision, restrictions or review;
• not suitable for the role;
• suspended, redeployed or removed from duties pending investigation;
• referral required to safeguarding, CIW, DBS, Social Care Wales, police or another professional regulator.

8. Notifications, Safeguarding Referrals and DBS Barring Referrals

{{org_field_name}} will make all required notifications and referrals promptly and will not delay a required referral because an internal disciplinary, grievance or investigation process is ongoing.

CIW notifications

The Registered Manager and Responsible Individual will ensure that CIW is notified in accordance with statutory notification requirements. This includes, where applicable:

• any abuse or allegation of abuse involving the service provider, a member of staff or a volunteer;
• any allegation of misconduct by a member of staff;
• any incident reported to the police;
• any event that prevents, or could prevent, the provider from continuing to provide the service safely;
• any conviction of the service provider, Responsible Individual or appointed manager;
• any other matter that is notifiable under the Regulations.

Safeguarding referrals

Where there is an allegation, evidence or suspicion of abuse, neglect, improper treatment or risk of harm, the organisation will take immediate action to protect individuals and will make appropriate referrals in accordance with the Safeguarding Adults from Abuse and Improper Treatment Policy, local safeguarding arrangements and Wales Safeguarding Procedures.

DBS barring referrals

{{org_field_name}} has a legal duty to refer a person to DBS where the legal referral conditions are met. This includes where the organisation has removed the person from regulated activity, would have removed the person from regulated activity, or the person has resigned, retired, been dismissed, been redeployed or left before removal could take place, and the person has harmed, may have harmed, or poses a risk of harm to a child or adult.

A referral to DBS must be considered even where a referral has also been made to the local authority safeguarding team, CIW, Social Care Wales, the police or another professional regulator.

Social Care Wales and professional regulator referrals

Where concerns call into question a registered person’s fitness to practise, conduct, competence or suitability, the Registered Manager will consider whether a referral must be made to Social Care Wales or another relevant professional regulator. This includes concerns about abuse, neglect, dishonesty, serious misconduct, unsafe practice, failure to maintain registration, or breach of a professional code.

Police

Where a criminal offence may have been committed, the police will be contacted without delay.

Records

The organisation will keep a clear record of the concern, immediate protective action, risk assessment, decisions made, notifications and referrals completed, dates, persons responsible, advice received and outcomes.

9. Disciplinary Action for Non-Compliance

Failure to comply with DBS, safeguarding, suitability, professional registration or reporting obligations may be treated as misconduct or gross misconduct, depending on the seriousness of the matter, and may result in:

• suspension or temporary removal from duties where this is necessary to protect individuals or the integrity of an investigation;
• restrictions on duties, increased supervision or redeployment;
• formal disciplinary action up to and including dismissal;
• referral to the local authority safeguarding team;
• notification to CIW;
• referral to DBS;
• referral to Social Care Wales or another professional regulator;
• referral to the police where a criminal offence may have been committed.

Each case will be reviewed individually, and disciplinary decisions will be made in line with the Disciplinary and Grievance Policy (DCW31) and safeguarding regulations.

Where a staff member resigns, retires, leaves employment, is dismissed, is redeployed or stops working before an investigation or disciplinary process is completed, {{org_field_name}} will still consider whether safeguarding, CIW, DBS, Social Care Wales, police or professional regulator referrals are required. The organisation will not enter into any settlement agreement or arrangement that prevents a required safeguarding, regulatory, DBS or professional referral.

10. Staff Support, Training and Awareness

To ensure staff understand their DBS, safeguarding and suitability responsibilities, {{org_field_name}} will provide:

• DBS and safe recruitment awareness during induction for relevant staff;
• guidance on staff duties to report changes in circumstances;
• safeguarding training relevant to the person’s role;
• information about how to raise concerns, including whistleblowing and safeguarding concerns;
• training for managers involved in recruitment, DBS checks, Update Service checks, disclosure risk assessments and referrals;
• information about Social Care Wales registration and codes of professional practice where applicable;
• confidential support for staff who are subject to DBS, safeguarding, disciplinary or professional registration processes, while ensuring that the safety and well-being of individuals remains the priority.

Staff are encouraged to ask questions and seek advice from the Registered Manager or HR if they have any concerns about their DBS obligations.

11. Related Policies

This policy should be read in conjunction with:

• Safeguarding Adults from Abuse and Improper Treatment Policy (DCW13)
• Fit and Proper Persons: Employed Staff Policy (DCW02)
• Staff Conduct and Code of Ethics Policy (DCW28)
• Disciplinary and Grievance Policy (DCW31)
• Confidentiality and Data Protection Policy (DCW34)

• Recruitment and Selection Policy
• Safer Recruitment Policy
• Whistleblowing Policy
• Social Care Wales Registration Policy
• Supervision and Appraisal Policy
• Mental Capacity and Deprivation of Liberty Safeguards Policy, where relevant
• Record Keeping Policy
• Data Retention Policy
• Equality, Diversity and Human Rights Policy

12. DBS Records, Audit and Quality Assurance

{{org_field_name}} will maintain a secure DBS and suitability tracking system. The system will record:

• staff member’s name and role;
• whether the role requires an Enhanced DBS check;
• whether an Adults’ Barred List check is required;
• DBS certificate number and issue date, where recording is permitted;
• date the original certificate was seen;
• name of the person who checked the certificate;
• whether the person is subscribed to the DBS Update Service;
• date and outcome of each Update Service status check;
• DBS renewal due date where the person is not subscribed to the Update Service;
• date suitability risk assessment completed, where relevant;
• outcome of the suitability decision;
• any restrictions, controls, supervision or review dates;
• any referrals or notifications made to CIW, DBS, safeguarding, police, Social Care Wales or another professional regulator.

The Registered Manager will audit DBS and suitability records at least quarterly. The audit will check that DBS renewals, Update Service checks, risk assessments, agency confirmations and required referrals have been completed. Any gaps or overdue actions will be escalated to the Responsible Individual.

13. Policy Review

This policy will be reviewed at least annually or sooner if there are changes to legislation, Welsh Government statutory guidance, CIW requirements, DBS guidance, Social Care Wales requirements, safeguarding procedures, organisational structure or operational practice.

The Registered Manager is responsible for ensuring the policy remains current and is implemented in practice. The Responsible Individual will maintain oversight through governance, audit and quality assurance arrangements.

Any changes to this policy will be communicated to relevant staff. Where changes affect staff duties, reporting expectations, DBS checks, safeguarding referrals or regulatory notifications, staff will be required to confirm that they have read and understood the updated policy.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
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